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(영문) 서울중앙지방법원 2014.10.30 2013고단8421
자본시장과금융투자업에관한법률위반
Text

Defendant

A Imprisonment of 10 months, Defendant B imprisonment of 6 months, and Defendant C of 4 months, respectively.

except that this shall not apply.

Reasons

Punishment of the crime

1. As of December 31, 201, Defendant A, as of December 31, 201, served as the largest shareholder and the representative director, who owns 2,569,404 shares of G Co., Ltd. (hereinafter “G”) equivalent to 33% of the total number of shares issued.

A person who holds stocks, etc. issued by a stock-listed corporation (referring to cases where the total number of stocks, etc. held by the person in a special relationship with the person in a special relationship is at least 5/100 of the total number of stocks, etc.) in violation of the duty to report holding in bulk shall report to the Financial Services Commission and the Exchange in accordance with Acts and subordinate statutes, such as holding status, purpose of holding (referring to whether it is intended to exercise influence over the management right of the issuer), details of major contracts on the stocks, etc. held, within five days from such date, and where the total number of stocks, etc. held in bulk changes by at least 1/100

In addition, if there is a change in important matters, such as the purpose of possession and the details of major contracts concerning the stocks held, etc., the person shall report to the Financial Services Commission and the Exchange within five days

On the other hand, it shall not make a false statement or representation of important matters, such as the type and number of shares held or changed, among the reporting documents, and shall not omit important matters.

(1) On February 1, 2012, the Defendant entered into a contract for acquisition of stocks and management rights that transfer the entire stocks and management rights of G stocks held with B and C from H located in Songpa-gu Seoul Metropolitan Government H with the total amount of KRW 2,569,404, while reporting the details of stock ownership as a shareholder of G stocks.

Accordingly, the Defendant shall report to the Financial Services Commission and the Exchange on the change of the important matters by February 8, 2012, which is within five days from that date.

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